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Retirement Plan › Investment Adviser › Recordkeeping Requirements

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - May 2024

Eversheds Sutherland (US) LLP on

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Jackson Lewis P.C.

SEC to Advisors and Funds – Adopt and Implement Cybersecurity Policies and Procedures

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On February 9, the Securities and Exchange Commission (“SEC”) voted to propose rule 206(4)-9 under the Advisers Act and 38a-2 under the Investment Company Act (collectively, “Proposed Rule”). In general, the Proposed Rule...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Ascensus is acquired

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One of the biggest consolidators in the third-party administration (TPA) business has found itself being acquired....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Free record keeping and you

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Several of the large bundled providers are offering free recordkeeping for parts of next year if plan sponsors switch over to them. It might be a gimmick, but it’s clever marketing. When they are large in the 401(k) business...more

Best Best & Krieger LLP

The Differences Between Bundled and Unbundled Retirement Plan Servicing Arrangements

Best Best & Krieger LLP on

When it comes to retirement plan servicing arrangements for most public agencies, there are basically two flavors: bundled and unbundled. It is important for public plan sponsors and plan fiduciaries to understand the...more

Lowenstein Sandler LLP

U.S. Department Of Labor Proposes New (Simpler) Fiduciary Rule Exemption

Lowenstein Sandler LLP on

On June 29, the U.S. Department of Labor (DOL) again waded into the financial services standard of care waters, only this time, it is staying in the shallow end. The DOL’s proposed prohibited transaction exemption (Proposed...more

Verrill

Stronger Than its Weakest Links: NYU Survives 403(b) Fee Lawsuit

Verrill on

The first breach of fiduciary duty claim to survive to trial alleged that the NYU Retirement Plan Committee failed to consolidate recordkeeping services, failed to property manage the RFP process, failed to allow potential...more

Foley & Lardner LLP

Emerging Private Fund Manager Guide for Raising Institutional Investor Capital

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Public and private pension plans, endowments, hedge funds and other institutional investors are investing trillions of dollars annually with alternative asset managers. Many of these fund managers are well-established with a...more

Winstead PC

Might You Be Stumbling Into Being Subject to the U.S. Department of Labor’s Conflict of Interest Regulatory World?

Winstead PC on

The U. S. Department of Labor’s Conflict of Interest regulatory package (the “COI Rules”) reaches far more than traditional trustees named in retirement plan documents. Many financial advisors, tax advisors, investment...more

Winstead PC

New PTEs Impact Broker’s and Advisor’s Relationship with Retirement Plans and IRAs and Also Impact Plan Sponsors and Fiduciaries

Winstead PC on

While only the plan service providers, like brokers, are required to comply with the requirements of the revised and new prohibited transaction class exemptions contained in the package with the definition of...more

Ballard Spahr LLP

Investment Management Update - October 2015

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Plan Checklist That Every Retirement Plan Sponsor Needs

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

While they don’t have a book called Retirement Plan Sponsorship for Dummies, they should. So in the interim, here is a checklist that plan sponsors should review that can help them develop good practices and avoid unnecessary...more

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